Ex ante policy appraisals, such as Regulatory Impact Assessments (RIAs), are promoted because they are expected to inform decisionmakers and, thus, to lead to better quality regulation. Such instrumental use is not the only possible use of RIAs. Ex ante policy appraisal can affect the policy process in various ways. However, a consolidated theory on the conditions for utilization of RIAs in the policy process has yet to be developed. In order to explore these conditions, we analyze three case studies of Swiss decisionmaking processes and apply concepts from knowledge utilization literature. In conclusion, we find that policy arenas matter more than the institutional context and design of RIA procedures. In line with previous literature, political use seems to be a prevalent type of utilization. Yet we find that, under specific conditions, RIAs also provide a basis for the optimization of policy designs (instrumental use), help improve interagency relations (policy-process use), and may change how a policy issue is understood (conceptual use).
The article investigates how the specific political system context shapes the effectiveness of policy appraisals. Based on a single case study on Regulatory Impact Assessment (RIA) in Switzerland, we argue that the meager impact and success of the RIA is due to its institutional context, namely Swiss semi-direct referendum democracy. Direct democratic involvement and the division of power in the course of consensual government are both great barriers for effective policy appraisal. We conclude by discussing the possibilities and limits of policy appraisal in a polity emphasizing political acceptance over evidence-based policy-making like Switzerland and address the normative issue of legitimacy of public action. Furthermore, we discuss how future research may build upon the presented findings in a more comparative manner.
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